Monday, June 2, 2014
Unregistered Broker Dealer Activity on the Rise By: Brenda Hamilton
The Securities and Exchange Commission (the "SEC") Division of Enforcement is pursuing unregistered broker dealer activity which runs rampant in the penny stock markets. Since Rule 506(c) was created many unregistered broker-dealers have appeared i...
http://www.securitieslawyer101.com/unregistered-broker/
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